Office of Hearings and Appeals
Social Security Administration (S.S.A.)
Department of Health and Human Services
Division IV: Civil Action
Subject: New Court Cases
June 30, 1994
Current through June 1997
I-4-155 NUMBERING AND INDEXING THE ADMINISTRATIVE RECORD
A. Numbering the Administrative Record
After the technician has assembled all material in the administrative record in proper order, starting with the first page of the Exhibit List, he or she must number all pages in the upper right hand corner. The technician must ensure that all numbers are dark and clear.
Place page numbers approximately 1 inch from the top and right side of the page. This will prevent deletion of the page numbers during reproduction. An exception to this general procedure applies to earnings records. The Reprographics Unit must reduce these to standard page size with the heading of the form running parallel to the left margin. Therefore, the technician must number earnings records so that the number will appear in the upper right-hand corner in the completed transcript.
There may be instances when the technician must stamp the page number over printing or writing, but the technician must avoid this if at all possible.
If the technician discovers that he or she has inadvertently failed to number a page, he or she may make it an "A", "B", etc. page. Show "A" pages on the index to the record and include them in the total page count for the record.
The technician must number both sides of any document in the record which refers to the "reverse side". This includes: Notice of Hearing, Notice of Representative Appointment, the initial determination letter, and form letters to vocational experts and/or medical experts.
If it is necessary to place a page number on a dark background, the technician must place white tape on the page and numbers thereon. For example, part of the Medical History and Disability Report (Form SSA-401) is shaded blue. Because page numbers will not show up well if stamped directly onto this blue area, the technician must place the number on white tape.
When page numbers from prior administrative records are in a current administrative record, the technician lines through the old page number and renumbers the page.
B. Indexing the Administrative Record
The index to the administrative record is simply a listing of each item in the record and its location. The technician does not prepare the index until he or she assembles all of the material and numbers the pages.
The index generally shows the following items in sequence:
ä "Exhibit List";
ä procedural material in reverse chronological date order (starting with the most recent dated item and ending with the earliest dated item);
ä the "Transcript of Oral Hearing" (which appears out of date order); and
ä "Exhibits", which is always the last item on the index.
Number the index page at the bottom with "(i)" or "(ii)" for the second page, and date in the lower left hand corner to correspond to the date of certification of the record. If an index has two pages, the technician types the claimant's name and account number on the second page in the same fashion used in the first page of the index.
The index describes the contents of the record and enumerates the specific legal documents comprising the procedural portion of the record. Describe each document accurately; e.g., attorney's brief, request for reopening, request for extension of time to submit additional evidence, request for additional time to file civil action, deposition of Dr. _______, statement of claimant, request for postponement of hearing, etc. Letters transmitting specific documents are a part of the document they transmit and require no separate entry.
Use the word "correspondence" only to describe letters which are not specifically categorized as part of a legal document or are of little significance.
When the ALJ or Appeals Council makes a procedural document (such as request for hearing) an exhibit, list the document in the appropriate place on the index, with the date and the notation: (See Exhibit ___).
Consider the acknowledgment date (when shown) on documents such as the request for hearing and the request for review, as the date of the request; otherwise, use the date the form was completed.
Prepare only one copy of the index on bond paper and check that no items are missing; that the claimant's name and account number, etc., and all dates are correct; and that the page numbers run consecutively.
Section > I-4-159, Exhibit F illustrates the format for a typical certified administrative record index. The index heading must show the claimant, wage earner, account number(s), and party-in-interest, if applicable. If the claimant is filing on behalf of another individual, or as a substitute party, the index heading must reflect this also.